2018060896601 Hightower Securities, LLC CRD No. 116681 AWC gg (2023-1690762807447).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060896601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hightower Securities, LLC (Respondent) Member Firm CRD No. 116681 Pursuant to FINRA Rule 9216, Respondent Hightower Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide relief relating to specified option transactions under FINRA Rule 4210 (Margin Requirements).

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